Kelly M. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kelly Morrow Smith was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1996. Kelly had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2016 - October 28, 2019
WEALTHSOURCE®
August 2, 2010 - December 1, 2017
VELLUM FINANCIAL, LLC
September 29, 2009 - April 26, 2010
IFC ADVISORY
September 24, 2009 - December 10, 2010
MULTIPLE FINANCIAL SERVICES, INC.
September 23, 2009 - December 10, 2010
MULTIPLE FINANCIAL SERVICES, INC.
July 17, 2006 - December 31, 2006
IFC ADVISORY
October 28, 2005 - July 21, 2009
PURSHE KAPLAN STERLING INVESTMENTS
June 21, 2000 - November 4, 2005
EDWARD JONES
April 24, 1999 - June 23, 2000
ATLAS SECURITIES, LLC
February 5, 1999 - April 27, 1999
SUNAMERICA SECURITIES, INC.
May 14, 1998 - October 13, 1998
WAMU INVESTMENTS, INC.
January 20, 1998 - May 19, 1998
ATLAS SECURITIES, LLC
November 5, 1996 - April 17, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 19, 1996 - November 7, 1996
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEALTHSOURCE®
CRD#: 282202 / SEC#: 801-107199
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,245 |
| AUM (Assets Under Management) | $ 2,116,238,123 |
Red Flags
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